18th Oct 2021 11:08
FORM 8.3
PUBLIC OPENING POSITION DISCLOSURE/DEALING DISCLOSURE BY
A PERSON WITH INTERESTS IN RELEVANT SECURITIES REPRESENTING 1% OR MORE
Rule 8.3 of the Takeover Code (the “Code”)
1. KEY INFORMATION
| (a) | Full name of discloser: | Barclays PLC. | |||||
| (b) | Owner or controller of interest and short | ||||||
| positions disclosed, if different from 1(a): | |||||||
| (c) | Name of offeror/offeree in relation to whose | NORTONLIFELOCK INC | |||||
| relevant securities this form relates: | |||||||
| (d) | If an exempt fund manager connected with an | ||||||
| offeror/offeree, state this and specify identity of | |||||||
| offeror/offeree: | |||||||
| (e) | Date position held/dealing undertaken: | 15 October 2021 | |||||
| (f) | In addition to the company in 1(c) above, is the discloser making | YES: | |||||
| disclosures in respect of any other party to the offer? | AVAST PLC | ||||||
2. POSITIONS OF THE PERSON MAKING THE DISCLOSURE
If there are positions or rights to subscribe to disclose in more than one class of relevant securities of the offeror or offeree named in 1(c), copy table 2(a) or (b) (as appropriate) for each additional class of relevant security.
(a) Interests and short positions in the relevant securities of the offeror or offeree to which the disclosure relates following the dealing (if any)
| Class of relevant security: | USD 0.01 common | |||||
Interests | Short Positions | |||||
Number | (%) | Number | (%) | |||
(1) | Relevant securities owned |
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| and/or controlled: | 1,579,029 | 0.27% | 886,125 | 0.15% | ||
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(2) | Cash-settled derivatives: |
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641,167 | 0.11% | 1,028,322 | 0.18% | |||
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(3) | Stock-settled derivatives (including options) |
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| and agreements to purchase/sell: | 500 | 0.00% | 2,100 | 0.00% | ||
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(4) |
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| TOTAL: | 2,220,696 | 0.38% | 1,916,547 | 0.33% | ||
| Class of relevant security: | Convertible Bond US668771AA66 | |||||
Interests | Short Positions | |||||
Number | (%) | Number | (%) | |||
(1) | Relevant securities owned |
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| and/or controlled: | 146,000 | 0.03% | 0 | 0.00% | ||
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(2) | Cash-settled derivatives: |
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0 | 0.00% | 0 | 0.00% | |||
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(3) | Stock-settled derivatives (including options) |
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| and agreements to purchase/sell: | 0 | 0.00% | 0 | 0.00% | ||
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(4) |
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| TOTAL: | 146,000 | 0.03% | 0 | 0.00% | ||
All interests and all short positions should be disclosed.
Details of any open stock-settled derivative positions (including traded options), or agreements to purchase or sell relevant securities, should be given on a Supplemental Form 8 (Open Positions).
(b) Rights to subscribe for new securities (including directors’ and other employee options)
Class of relevant security in relation to which subscription right exists: |
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Details, including nature of the rights concerned and relevant percentages: |
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3. DEALINGS (IF ANY) BY THE PERSON MAKING THE DISCLOSURE
Where there have been dealings in more than one class of relevant securities of the offeror or offeree named in 1(c), copy table 3(a), (b), (c) or (d) (as appropriate) for each additional class of relevant security dealt in.
The currency of all prices and other monetary amounts should be stated.
(a) Purchases and sales
| Class of relevant | Purchase/sale | Number of | Price per unit | ||||
| security | securities | ||||||
| USD 0.01 common | Purchase | 2 | 25.3250 USD | ||||
| USD 0.01 common | Purchase | 4 | 25.4150 USD | ||||
| USD 0.01 common | Purchase | 7 | 25.2500 USD | ||||
| USD 0.01 common | Purchase | 7 | 25.2950 USD | ||||
| USD 0.01 common | Purchase | 14 | 25.2875 USD | ||||
| USD 0.01 common | Purchase | 14 | 25.2200 USD | ||||
| USD 0.01 common | Purchase | 14 | 25.2671 USD | ||||
| USD 0.01 common | Purchase | 14 | 25.2925 USD | ||||
| USD 0.01 common | Purchase | 21 | 25.2266 USD | ||||
| USD 0.01 common | Purchase | 21 | 25.2516 USD | ||||
| USD 0.01 common | Purchase | 26 | 25.2630 USD | ||||
| USD 0.01 common | Purchase | 28 | 25.2575 USD | ||||
| USD 0.01 common | Purchase | 35 | 25.2750 USD | ||||
| USD 0.01 common | Purchase | 41 | 25.3047 USD | ||||
| USD 0.01 common | Purchase | 45 | 25.4031 USD | ||||
| USD 0.01 common | Purchase | 53 | 25.4200 USD | ||||
| USD 0.01 common | Purchase | 71 | 25.3301 USD | ||||
| USD 0.01 common | Purchase | 76 | 25.3394 USD | ||||
| USD 0.01 common | Purchase | 76 | 25.3018 USD | ||||
| USD 0.01 common | Purchase | 85 | 25.2369 USD | ||||
| USD 0.01 common | Purchase | 100 | 25.2150 USD | ||||
| USD 0.01 common | Purchase | 100 | 25.3196 USD | ||||
| USD 0.01 common | Purchase | 112 | 25.3114 USD | ||||
| USD 0.01 common | Purchase | 116 | 25.3129 USD | ||||
| USD 0.01 common | Purchase | 124 | 25.3535 USD | ||||
| USD 0.01 common | Purchase | 140 | 25.3172 USD | ||||
| USD 0.01 common | Purchase | 144 | 25.3327 USD | ||||
| USD 0.01 common | Purchase | 148 | 25.3448 USD | ||||
| USD 0.01 common | Purchase | 160 | 25.3385 USD | ||||
| USD 0.01 common | Purchase | 230 | 25.2563 USD | ||||
| USD 0.01 common | Purchase | 234 | 21.8447 EUR | ||||
| USD 0.01 common | Purchase | 249 | 25.2650 USD | ||||
| USD 0.01 common | Purchase | 669 | 25.3733 USD | ||||
| USD 0.01 common | Purchase | 900 | 25.2400 USD | ||||
| USD 0.01 common | Purchase | 979 | 25.2840 USD | ||||
| USD 0.01 common | Purchase | 1,126 | 25.3555 USD | ||||
| USD 0.01 common | Purchase | 1,200 | 25.3950 USD | ||||
| USD 0.01 common | Purchase | 1,316 | 25.2732 USD | ||||
| USD 0.01 common | Purchase | 1,427 | 25.2999 USD | ||||
| USD 0.01 common | Purchase | 1,805 | 25.3900 USD | ||||
| USD 0.01 common | Purchase | 2,200 | 25.2877 USD | ||||
| USD 0.01 common | Purchase | 2,528 | 25.3211 USD | ||||
| USD 0.01 common | Purchase | 2,684 | 25.3748 USD | ||||
| USD 0.01 common | Purchase | 2,691 | 25.3061 USD | ||||
| USD 0.01 common | Purchase | 2,718 | 25.2762 USD | ||||
| USD 0.01 common | Purchase | 3,748 | 25.2960 USD | ||||
| USD 0.01 common | Purchase | 4,918 | 25.3346 USD | ||||
| USD 0.01 common | Purchase | 6,112 | 25.4051 USD | ||||
| USD 0.01 common | Purchase | 10,059 | 25.3739 USD | ||||
| USD 0.01 common | Purchase | 13,970 | 25.3471 USD | ||||
| USD 0.01 common | Purchase | 16,096 | 25.3317 USD | ||||
| USD 0.01 common | Purchase | 28,050 | 25.3017 USD | ||||
| USD 0.01 common | Purchase | 37,389 | 25.3880 USD | ||||
| USD 0.01 common | Purchase | 44,129 | 25.3119 USD | ||||
| USD 0.01 common | Purchase | 64,139 | 25.3000 USD | ||||
| USD 0.01 common | Sale | 1 | 25.3400 USD | ||||
| USD 0.01 common | Sale | 1 | 25.2550 USD | ||||
| USD 0.01 common | Sale | 24 | 25.3470 USD | ||||
| USD 0.01 common | Sale | 25 | 25.4772 USD | ||||
| USD 0.01 common | Sale | 34 | 25.2755 USD | ||||
| USD 0.01 common | Sale | 34 | 25.2857 USD | ||||
| USD 0.01 common | Sale | 35 | 25.3008 USD | ||||
| USD 0.01 common | Sale | 36 | 25.3211 USD | ||||
| USD 0.01 common | Sale | 44 | 25.3756 USD | ||||
| USD 0.01 common | Sale | 53 | 25.4200 USD | ||||
| USD 0.01 common | Sale | 55 | 25.3600 USD | ||||
| USD 0.01 common | Sale | 59 | 25.3918 USD | ||||
| USD 0.01 common | Sale | 73 | 25.3261 USD | ||||
| USD 0.01 common | Sale | 85 | 25.2369 USD | ||||
| USD 0.01 common | Sale | 100 | 25.2400 USD | ||||
| USD 0.01 common | Sale | 100 | 25.2700 USD | ||||
| USD 0.01 common | Sale | 107 | 25.2200 USD | ||||
| USD 0.01 common | Sale | 200 | 25.2800 USD | ||||
| USD 0.01 common | Sale | 234 | 21.8447 EUR | ||||
| USD 0.01 common | Sale | 236 | 25.3760 USD | ||||
| USD 0.01 common | Sale | 301 | 25.2697 USD | ||||
| USD 0.01 common | Sale | 364 | 25.2842 USD | ||||
| USD 0.01 common | Sale | 400 | 25.3087 USD | ||||
| USD 0.01 common | Sale | 578 | 25.3900 USD | ||||
| USD 0.01 common | Sale | 616 | 25.3476 USD | ||||
| USD 0.01 common | Sale | 651 | 25.3495 USD | ||||
| USD 0.01 common | Sale | 950 | 25.3724 USD | ||||
| USD 0.01 common | Sale | 1,015 | 25.3913 USD | ||||
| USD 0.01 common | Sale | 2,468 | 25.3808 USD | ||||
| USD 0.01 common | Sale | 3,052 | 25.4074 USD | ||||
| USD 0.01 common | Sale | 3,999 | 25.3133 USD | ||||
| USD 0.01 common | Sale | 7,174 | 25.3571 USD | ||||
| USD 0.01 common | Sale | 10,060 | 25.3691 USD | ||||
| USD 0.01 common | Sale | 11,003 | 25.3016 USD | ||||
| USD 0.01 common | Sale | 16,187 | 25.3230 USD | ||||
| USD 0.01 common | Sale | 17,286 | 25.3398 USD | ||||
| USD 0.01 common | Sale | 25,207 | 25.3000 USD | ||||
| USD 0.01 common | Sale | 27,463 | 25.3017 USD | ||||
| USD 0.01 common | Sale | 37,523 | 25.3876 USD | ||||
| USD 0.01 common | Sale | 40,030 | 25.3113 USD | ||||
| USD 0.01 common | Sale | 40,788 | 25.3005 USD | ||||
(b) Cash-settled derivative transactions
Class of relevant security | Product description e.g. CFD | Nature of dealing e.g. opening/closing a long/short position, increasing/reducing a long/short position | Number of reference securities | Price per unit |
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(c) Stock-settled derivative transactions (including options)
(i) Writing, selling, purchasing or varying
Class of relevant security | Product description e.g. call option | Writing, purchasing, selling, varying etc. | Number of securities to which option relates | Exercise price per unit | Type e.g. American, European etc. | Expiry date | Option money paid/ received per unit |
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(ii) Exercise
Class of relevant security | Product description e.g. call option | Exercising/ exercised against | Number of securities | Exercise price per unit |
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(d) Other dealings (including subscribing for new securities)
Class of relevant security | Nature of dealing e.g. subscription, conversion | Details | Price per unit (if applicable) |
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4. OTHER INFORMATION
(a) Indemnity and other dealing arrangements
Details of any indemnity or option arrangement, or any agreement or understanding, formal or informal, relating to relevant securities which may be an inducement to deal or refrain from dealing entered into by the person making the disclosure and any party to the offer or any person acting in concert with a party to the offer: Irrevocable commitments and letters of intent should not be included. If there are no such agreements, arrangements or understandings, state “none” |
None
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(b) Agreements, arrangements or understandings relating to options or derivatives
Details of any agreement, arrangement or understanding, formal or informal, between the person making the disclosure and any other person relating to: (i) the voting rights of any relevant securities under any option; or (ii) the voting rights or future acquisition or disposal of any relevant securities to which any derivative is referenced: If there are no such agreements, arrangements or understandings, state “none” |
None
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(c) Attachments
| Is a Supplemental Form 8 (Open Positions) attached? | YES | ||||||
| Date of disclosure: | 18 Oct 2021 | ||||||
| Contact name: | Large Holdings Regulatory Operations | ||||||
| Telephone number: | 020 3134 7213 | ||||||
Public disclosures under Rule 8 of the Code must be made to a Regulatory Information Service.
The Panel’s Market Surveillance Unit is available for consultation in relation to the Code’s disclosure requirements on +44 (0)20 7638 0129.
*If the discloser is a natural person, a telephone number does not need to be included, provided contact information has been provided to the Panel’s Market Surveillance Unit.
The Code can be viewed on the Panel’s website at www.thetakeoverpanel.org.uk.
SUPPLEMENTAL FORM 8 (OPEN POSITIONS)
DETAILS OF OPEN STOCK-SETTLED DERIVATIVE (INCLUDING OPTION) POSITIONS, AGREEMENTS TO PURCHASE OR SELL ETC.
Note 5(i) on Rule 8 of the Takeover Code (the “Code”)
1. KEY INFORMATION
| Identity of the person whose positions/dealings | Barclays PLC. | ||||||
| are being disclosed: | |||||||
| Name of offeror/offeree in relation to whose | NORTONLIFELOCK INC | ||||||
| relevant securities this from relates: | |||||||
2. STOCK-SETTLED DERIVATIVES (INCLUDING OPTIONS)
| Class | Product | Writing, | Number | Exercise | Type | Expiry | |
| of | description | purchasing, | of | price | date | ||
| relevant | selling, | securities | per unit | ||||
| security | varying etc | to which |
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option |
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relates |
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| USD 0.01 common | Call Options | Purchased | 500 | 27.0000 | American | 21 Jan 2022 | |
| USD 0.01 common | Put Options | Purchased | -2,100 | 30.0000 | American | 21 Jan 2022 | |
3. AGREEMENTS TO PURCHASE OR SELL ETC.
Full details should be given so that the nature of the interest or position can be fully understood: |
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It is not necessary to provide details on a Supplemental Form (Open Positions) with regard to cash-settled derivatives.
The currency of all prices and other monetary amounts should be stated.
The Panel’s Market Surveillance Unit is available for consultation in relation to the Code’s disclosure requirements on +44 (0)20 7638 0129.
The Code can be viewed on the Panel’s website at www.thetakeoverpanel.org.uk
View source version on businesswire.com: https://www.businesswire.com/news/home/20211018005429/en/
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